RANWW



REALTORS? Association of Northwestern WisconsinEthics Citation Program Citation Policy and Schedule of Fines The REALTORS? Association of Northwestern Wisconsin provides professional standards services for its members. The following Ethics Citation Program is applicable to all RANWW members. Upon adoption by the RANWW Board of Directors staff will distribute information regarding citation policy to RANWW members via email. Citation Policy and Schedule of fines will be available on the RANWW website. Citation Panel A RANWW Citation Panel will be composed of three (3) members of the RANWW Professional Standards Committee. RANWW Professional Standards Committee members will be invited to volunteer for Citation Panel service including a pool of at least six (6) members. Citation Process Ethics complaint received by the association will be forwarded to the Grievance Committee for review consistent with NAR Code of Ethics and Arbitration Manual policies and procedures. All Complaints must be filed within one hundred eighty (180) days after the facts constituting the matter complained of could have been known in the exercise of reasonable diligence or within one hundred eighty (180) days after the conclusion of the transaction or event, whichever is later.Initial Review by Grievance Committee and Citation PanelWhen a Grievance Committee receives a written ethics complaint, it will review the complaint consistent with Sections 19 and 20 of the current NAR Code of Ethics and Arbitration Manual. The Grievance Committee may add or delete articles or respondents at this stage in the proceedings. If the Grievance Committee determines that the complaint should be forwarded for a hearing, the Grievance Committee will first forward the complaint to the Association’s Citation Panel to determine if it includes allegations covered by the Citation Schedule, i.e., if it is a “citable offense”.If the complaint does not include alleged violations included in the Citation Schedule, or it includes some covered by the Citation Schedule and some that are not, the complaint shall be referred to the Professional Standards Committee for hearing consistent with the policies and procedures set forth in the Code of Ethics and Arbitration Manual for ethics hearings. If the complaint includes only allegations of violations included in the Citation Schedule, the Citation Panel will issue a citation and impose discipline consistent with the association’s Citation Schedule. In the event the members of the Citation Panel determine the conduct described in the complaint is sufficiently egregious to warrant a hearing rather than a citation, the complaint shall be referred to the Professional Standards Committee for hearing consistent with the policies and procedures set forth in the Code of Ethics and Arbitration Manual for ethics hearings.When an ethics complaint and an arbitration request arising out of the same facts and circumstances are filed at the same time, the arbitration hearing shall be held first, and the citation(s) issued or ethics hearing held after the conclusion of the arbitration hearing consistent with Professional Standards Policy Statement #35, Separation of Ethics Complaint and Arbitration Request, Code of Ethics and Arbitration Manual.Issuance of CitationsCitations will be sent to respondents. A copy of the citation shall also be sent to the REALTOR? principal of respondents’ office. If the respondent changes firms before or after the complaint is filed but before the citation is issued, both the former and current REALTOR? principal will receive a copy of the citation. The Citation Panel will prepare a written summary of the complaint; the summary along with the original complaint will be provided to the respondent, including the identity of the complainant.The respondent will have twenty (20) days from transmission of the citation to request a full due process hearing on the complaint. If the respondent does not reply within ten (10) days of transmission of the citation, an e-mail notice shall be transmitted to the respondent reminding the respondent of the deadline for requesting a hearing.If the respondent accepts the citation, or if the respondent does not request a hearing within twenty (20) days of transmission of the citation, this shall be deemed to be a final resolution of the complaint, which shall not be appealable or subject to any further review.If the respondent accepts the citation, or if the respondent does not request a hearing within twenty (20) days of transmission of the citation, payment must be received by the association no later than five (5) days after the date of acceptance or time period to request a hearing has elapsed.The case will be deemed to be closed upon receipt of payment, and an e-mail notice will be provided to the complainant that a citation has been issued and paid.Failure to pay the citation amount within five (5) days after the date of acceptance or after the time period to request a hearing has expired will result in the automatic suspension of membership until the citation has been paid. If the respondent requests a hearing within the time specified, the complaint shall be referred for hearing. The complainant who initially filed the complaint shall be given the option to proceed as the complainant for the purposes of the hearing, and will be afforded all due process rights provided for in the Code of Ethics and Arbitration Manual. Should the complainant be a member of the public who refuses or is unable to participate in the hearing, or should the complainant be a REALTOR? member who refuses or is unable to participate in the hearing, the provisions of Section 21(f)(3) in the NAR Code of Ethics and Arbitration Manual shall apply. LimitationsAny REALTOR? is limited in the number and type of citations that he/she may receive, according to the following rules:No more than two (2) citations will be issued to a member within a consecutive twelve (12) month period, starting on the date the first complaint was filed, at the same association.No more than three (3) citations will be issued to a member within a consecutive thirty-six (36) month period, starting on the date the first complaint was filed, at the same association.No additional citations are permitted where the cumulative fine for the citations issued would be more than $1,500 in any three (3) year period at the same association.RANWW has adopted an escalating fine schedule for repeat citations; the citation panel may only consider the past citations for the particular conduct alleged in the complaint. The fact that a respondent has previously been issued a citation for any violation – whether or not it was paid – shall not be admissible in any ethics or arbitration hearing, including a hearing to consider a complaint where the respondent rejected a citation and requested a hearing. A hearing panel may consider citations previously issued to the respondent for the purpose of determining appropriate discipline as provided in Subsection IV below. Citations will not be considered in any publication of violations should such rules be adopted by the association. Where a hearing panel finds a violation of the Code of Ethics after a hearing, it may consider past citations in determining an appropriate sanction only if the citation was issued for the same violation at issue in the hearing. By way of example, if a citation was issued for failure to disclose a dual or variable rate commission under Standard of Practice 3-4, that citation could not be considered if a hearing panel later found a violation of Article 3 on some other grounds. Hearing panels will not be informed of past citations for other violations.Association staff will track the number of citations issued, the number of citations paid, and the violations for which citations were issued. This information may be provided in the aggregate to the Board of Directors, but will not include details about the complaints, nor identify the complainants or respondents. The allegations, discussions and decisions made in the citation process are confidential and shall not be reported or published by the board, any member of a tribunal, or any party under any circumstances except those established in Limitations, Section V of this policy and the Code of Ethics and Arbitration Manual of the National Association as from time to time amended.RANWW Citation Policy/Schedule of FinesArticleApplicable Article and Standard of PracticeFineEthics Training available in lieu of or in addition to fine?Article 1Failure on the part of a listing broker to provide written affirmation that an offer was presented or written notification that the seller/landlord has waived the obligation to have the offer presented, upon written request of a cooperating broker submitting an offer.Article 1, supported by Standard of Practice 1-7$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationAccessing or using, or allowing others to access or use, a property managed or listed on terms other than those authorized by the owner or sellerArticle 1, supported by Standard of Practice 1-16$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationArticle 3Failure to communicate a change in compensation for cooperative services prior to the time that REALTOR? submits an offer to purchase/lease the propertyArticle 3, supported by Standard of Practice 3-2$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationFailing to disclose existence of accepted offers, including offers with unresolved contingencies, to cooperating brokersArticle 3, supported by Standard of Practice 3-6$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationMisrepresenting the availability of access to show or inspect a listed propertyArticle 3, supported by Standard of Practice 3-8$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationProviding access to listed property on terms other than those established by the owner or the listing brokerArticle 3, supported by Standard of Practice 3-9$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationArticle 4Failing to disclose REALTOR?’s ownership or other interest in writing to the purchaser or their representativeArticle 4 (second sentence)$250 1st Citation$500 2nd Citation$750 3rd CitationNo additional educationArticle 5Providing professional services without disclosing REALTOR?’s present interest in propertyArticle 5 (limited to present interest, or contemplated)$250 1st Citation$500 2nd Citation$750 3rd CitationNo additional educationArticle 12Failing to present a true picture in real estate communications and advertisingArticle 12$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationFailing to disclose status as real estate professional in advertising and other representationsArticle 12$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationFailure to provide all terms governing availability of a “free” product or service in an advertisement or other representationArticle 12, supported by Standard of Practice 12-1$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationFailure to disclose potential to obtain a benefit from third party when REALTOR? represents their services as “free” or without costArticle 12, supported by Standard of Practice 12-2$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationFailure to exercise care and candor when communicating the terms and conditions of premiums, prizes, merchandise discounts or other inducements to list, sell, purchase, or leaseArticle 12, supported by Standard of Practice 12-3$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationAdvertising property for sale/lease without authority of owner or listing brokerArticle 12, supported by Standard of Practice 12-4$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationFailing to disclose name of firm in advertisement for listed propertyArticle 12, supported by Standard of Practice 12-5$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationFalsely claiming to have “sold” propertyArticle 12, supported by Standard of Practice 12-7$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationFailure to take corrective action when it becomes apparent that information on a REALTOR?’s website is no longer current or accurateArticle 12, supported by second sentence of Standard of Practice 12-8$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationFailure to disclose firm name and state of licensure on REALTOR? firm websiteArticle 12, supported by Standard of Practice 12-9$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationRepresenting that the REALTOR? has a designation, certification, or other credential they are not entitled to useArticle 12, supported by Standard of Practice 12-13$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationArticle 14Failing to cooperate in a professional standards proceeding or investigation in circumstances when cooperation has been demanded by the association and association has advised REALTOR? failure to cooperate could result in an allegation of a violation of Article 14 Article 14$250 1st Citation$500 2nd Citation$750 3rd CitationNo additional educationArticle 16Placing for sale/lease sign on property without permission of seller/landlordArticle 16, supported by Standard of Practice 16-19$250 1st Citation$500 2nd Citation$750 3rd CitationNAR Code of Ethics Training will be added (in addition to fines) by Citation panel for 2nd & 3rd offenses. Respondent will have 30 days to complete the assigned education; completion certificate must be provided.No CE Credits for EducationOnce a student selects the free non-CE Code of Ethics training course they must: Select one (1) Introduction. A brief description of the introduction options follow: Appraisal IntroductionIn this module, REALTORS? who specialize in appraisal will learn how the REALTOR? Code of Ethics applies to them. Students will examine specifically developed appraisal content about: the aspirational concepts in the Preamble of the Code of Ethics, the concept of general business ethics and how it compares and contrasts with the duties established in the REALTOR? Code of Ethics and how professional standards are enforced by the local associations of REALTORS?. Residential IntroductionIn this module, REALTORS? who specialize in residential real estate will learn how the REALTOR? Code of Ethics applies to them. Students will examine: the aspirational concepts in the Preamble of the Code of Ethics, the concept of general business ethics and how it compares and contrasts with the duties established in the REALTOR? Code of Ethics and how professional standards are enforced by local associations of REALTORS?. Commercial IntroductionIn this module, REALTORS? who specialize in commercial real estate will learn how the REALTOR? Code of Ethics applies to them. Students will examine specifically developed commercial content about: the aspirational concepts in the Preamble of the Code of Ethics, the concept of general business ethics and how it compares and contrasts with the duties in the REALTORS? Code of Ethics and how professional standards are enforced by associations of REALTORS?. Select two (2) Case Studies. A brief description of the case study options follow:Article 1 - ResidentialThis module explains the important concepts of Article 1 of the Code of Ethics. Students will review case studies and scenarios, examine Article 1’s Standards of Practice and learn to identify possible violations of the Article. Article 3 - ResidentialThis module explains the important concepts of Article 3 of the Code of Ethics. Students will review case studies and scenarios, examine Article 3’s Standards of Practice and learn to identify possible violations of the Article. Article 12 – ResidentialThis module explains the important concepts of Article 12 of the Code of Ethics. Students will review case studies and scenarios, examine Article 12’s Standards of Practice and learn to identify possible violations of the Article. Article 16 - ResidentialThis module explains the important concepts of Article 16 of the Code of Ethics. Students will review case studies and scenarios, examine Article 16’s Standards of Practice and learn to identify possible violations of the Article. Article 1 - CommercialThis module explains the important concepts of Article 1 of the Code of Ethics in commercial real estate. Students will review case studies and scenarios, examine Article 1’s Standards of Practice and learn to identify possible violations of the Article. Article 12 – CommercialThis module explains the important concepts of Article 12 of the Code of Ethics in commercial real estate. Students will review case studies and scenarios, examine Article 12’s Standards of Practice and learn to identify possible violations of the Article. Article 1 - AppraisalThis module explains the important concepts of Article 1 of the Code of Ethics in appraisal. Students will review case studies and scenarios, examine Article 1’s Standards of Practice and learn to identify possible violations of the Article. Article 11 - AppraisalThis module explores the important concepts of Article 11 of the Code of Ethics in appraisal. Students will review case studies and scenarios, examine Article 11’s Standards of Practice and learn to identify possible violations of the Article. Select one (1) Elective. A brief description of the elective options follow:Procuring CauseThis module explains the often misunderstood concept of procuring cause and how it is used in making offers of compensation and in deciding arbitration claims over disputed commissions. Ethics ComplaintsThis module brings to life the process for filing and participating in a hearing of an ethics complaint. Arbitration RequestThis module brings to life the process for filing and participating in a hearing of an arbitration request. Pathways to Professionalism / Marketing the Code of EthicsThis module explains "Pathways to Professionalism", a list of professional courtesies and discusses how it can enhance relations between REALTORS? and how it ensures professional services to clients and consumers. This module also discusses how to market and use the REALTOR? Code of Ethics in your everyday business. The Mediation ExperienceThis module brings to life NAR’s preferred dispute resolution system, mediation. Changes to the Code of Ethics This module explains recent changes to the Code of Ethics and the Professional Standards enforcement process. ................
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